How a 56-Year-Old Engineer’s $45,000 Loss Spurred SEC Probe

http://lnkd.in/dVV5Xir Key takeaways: Suitability, Transparency, Disclosure, Third-Party Distribution risk. “The regulator is seeking to determine whether banks should include that measure, known as the indicative value, in prospectuses” – An indicative valuation is only as good as the inputs into the model. Raise the input volatility and the indicative value increases. Visit www.skadilimited.com to see how our Subject Matter Experts help Control Functions understand risks being taken in their Front Office.